Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ameriprise Financial Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Anthony Fiore Sposato | 2397173 | 2 | 09/02/1999 | Customer Dispute | Settled | $16,778.30 | $0.00 | See FINRA Report |
| Stephen Joseph Gesualdi | 1913247 | 3 | 09/01/1999 | Customer Dispute | Closed-No Action | $72,500.00 | $0.00 | See FINRA Report |
| Gary Alan Richman | 726786 | 5 | 08/23/1999 | Customer Dispute | Settled | $83,000.00 | $0.00 | See FINRA Report |
| Richard Lee Charlet | 1593010 | 1 | 08/23/1999 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| William David Johnson | 2103904 | 2 | 08/14/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Gregory Mennona | 1232328 | 5 | 08/09/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dennis Riley Hendrix | 844734 | 2 | 08/05/1999 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Frank Anthony Planes | 2134029 | 1 | 08/04/1999 | Customer Dispute | Settled | $47,870.00 | $0.00 | See FINRA Report |
| Emmett Russell Ray | 2384270 | 3 | 08/02/1999 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| Douglas Covington Osborn | 867592 | 6 | 07/21/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |